0001127602-12-013374.txt : 20120404 0001127602-12-013374.hdr.sgml : 20120404 20120404212756 ACCESSION NUMBER: 0001127602-12-013374 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120402 FILED AS OF DATE: 20120404 DATE AS OF CHANGE: 20120404 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SHIVERY CHARLES W CENTRAL INDEX KEY: 0001054818 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05324 FILM NUMBER: 12743670 MAIL ADDRESS: STREET 1: NORTHEAST UTILITIES STREET 2: 56 PROSPECT STREET CITY: HARTFORD STATE: CT ZIP: 06103 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NORTHEAST UTILITIES CENTRAL INDEX KEY: 0000072741 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC SERVICES [4911] IRS NUMBER: 042147929 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE FEDERAL STREET STREET 2: BUILDING 111-4 CITY: SPRINGFIELD STATE: MA ZIP: 01105 BUSINESS PHONE: 8606655000 MAIL ADDRESS: STREET 1: 107 SELDEN ST CITY: BERLIN STATE: CT ZIP: 06037-1616 FORMER COMPANY: FORMER CONFORMED NAME: NORTHEAST UTILITIES SYSTEM DATE OF NAME CHANGE: 19961121 4 1 form4.xml PRIMARY DOCUMENT X0305 4 2012-04-02 0000072741 NORTHEAST UTILITIES NU 0001054818 SHIVERY CHARLES W C/O NORTHEAST UTILITIES 56 PROSPECT STREET HARTFORD CT 06103 1 1 Chrmn of Bd, President & CEO Trustee Common Shares, $5.00 par value 2012-04-02 4 F 0 121 37.21 D 619099 D Common Shares, $5.00 par value 2317 I By 401(k) Plan Trustee Phantom Shares Common Shares, $5.00 par value 9714 9714 D Tax withholding with regard to shares issued in respect of dividend equivalents to which the reporting person became entitled on March 1, 2012. The dividend equivalents related to Performance Units that were paid out in shares of issuer common stock on February 15, 2012. Shares in respect of the dividend equivalents were paid out thereafter. Includes restricted share units and dividend equivalents thereon and shares issued in respect of the dividend equivalents described in note 1. Of the total shares owned, the reporting person holds 1,500 of these shares with his spouse. Shares held in trust under the Northeast Utilities Service Company 401k Plan, a qualified plan, according to information supplied by the plan's recordkeeper. Matching contributions on reporting person's deferred compensation contributions under the Northeast Utilities Deferred Compensation Plan for Executives, a non-qualified deferred compensation plan, that are nominally invested as common shares. Each phantom share represents the right to receive cash value of one NU common share upon a distribution event, following vesting. Additional phantom shares are issued upon the automatic reinvestment of dividend-equivalents exempt from the line item reporting under SEC Rule 16a-11. /s/ Jeffrey C. Miller, authorized signatory for Mr. Shivery 2012-04-04